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16th November 2023

#RTIAwards

RegTech Insight Awards - USA 2023 Categories and Descriptions

Nominations for RegTech Insight Awards – USA 2023 entries can be made by financial institutions, our Advisory Board and the RegTech solution providers themselves in the following categories:

Best Regulatory Reporting Solution

Vendors of solutions that assist firms in monitoring business activity, generating and/or submitting the necessary regulatory reports to regulators.

Best Solution for CFTC Reporting

Best vendor solution for CFTC derivatives reporting.

Best Trade Surveillance Solution

Providers of solutions that capture, monitor and analyse trade data.

Best Transaction Reporting Solution

Vendors of solutions that provide firms with systems to generate and execute their mandatory transaction reporting requirements to regulators.

Best e-Comms Surveillance Solution

Vendors of solutions that provide voice and mobile message channels for regulatory compliance purposes.

Best Financial Crime Solution

Vendors of technology solutions that specifically address data challenges around financial crime and anti-money laundering.

Best Know Your Customer Solution

Vendors of solutions that assist clients to obtain, process, and manage data captured during KYC procedures.

Best Compliance as a Service Solution

Managed service providers that help organisations to meet their regulatory compliance mandates through cloud solutions.

Best Risk Calculation Engine for Regulatory Compliance

Vendors of solutions that assist banks to calculate specific risk models, including standardised and IRB approaches.

Best Solution for Buy-Side Regulatory Compliance

Vendors of systems targeting the capture, processing, cleaning, storing, integration and management of data for regulatory and compliance purposes, for buy-side firms.

Best Solution for Sell-Side Regulatory Compliance

Vendors of systems targeting the capture, processing, cleaning, storing, integration and management of data for regulatory and compliance purposes, for sell-side firms.

Best Regulatory Data Solution

Vendors of regulatory data solutions that meet the requirements of compliance

Best Solution for Records Retention

Vendors of software solutions for records retention to assist firms with their record and document management obligations

Best Regulatory Alert Management Solution

Vendors of regulatory alert systems that assist firms in managing their compliance obligations

Best Cloud-Based Solution for Regulatory Compliance

Vendors of cloud-based solutions designed specifically for regulatory compliance

Best AI Solution for Regulatory Compliance

Vendors that utilise innovative artificial intelligence technology to solve regulatory compliance challenges

Best Regulatory Intelligence Solution

Vendors of solutions providing access to regulatory intelligence such as horizon scanning

Best Post Trade Solution

Description to follow shortly

Best Client On-Boarding Solution

Vendors of solutions providing support for client on-boarding, including entity data, Peps and sanctions management

Best Solution for Sanctions Management

Vendors of solutions designed specifically for sanctions management, including sanctions lists and screening

Best Tax Compliance Solution

Vendors of solutions that assist clients to meet their tax compliance obligations

Best Conduct Risk Solution

Vendors of solutions that assist firms to measure, manage and monitor conduct risk and related exposures (including but not limited to risk identification, metrics and analytics, mitigation and control management).

Best Solution for Operational Resilience

Vendors of solutions designed to keep systems running and provide operational resilience whatever the circumstance.

Best Analytics Solution for Capital Requirements/Liquidity Risk

Vendors of analytic and platform solutions that help firms to understand and manage their capital and liquidity requirements.

Best Solution for FRTB

Vendors of solutions targeted at managing and meeting the specific data requirements of the Fundamental Review of the Trading Book (FRTB).

Best Data Privacy Solution

Vendors of solutions assisting firms to manage and meet their obligations under the General Data Protection Regulation (GDPR).

Best Solution for Regulatory Change Management

Vendors of solutions supporting change management for regulatory updates, refits, amends etc.

Best Solution for Digital Transformation in Regulatory Compliance

Vendors of solutions providing complete digital transformation solutions for regulatory compliance.

Best Regulatory Consultancy – North America

The best provider of regulatory advice and consultation services within North America.

Best North America RegTech Start Up for Institutional Markets (business must be younger than 5 years olf to quality)

Best RegTech start-up offering solutions that meet capital markets participants’ regulatory requirements.

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